POLICIES OF THE COLORADO STATE BOARD OF ACCOUNTANCY REVISED JANUARY 13, 2016 TABLE OF CONTENTS

PAGE NO. APPLICATION PROCESSING 10-01 Review of Denied Certificate/Registration Applications

1

10-02 Filing of Changes to a Firm Registration in Conjunction with Individuals

1

CERTIFICATES 20-01 Voluntary Surrender of Colorado CPA Certificate

1

EDUCATION REQUIREMENTS 30-01

Rules 2.4 and 2.5 Clarification - Minimum Grade of "C"

1

30-02

Rules 2.6 and 2.7 Clarification - "Specialized Accounting Courses"

1

30-03

Accounting Ethics Course Clarification

1

30-04

Business, Technical, or Accounting Communications Course Clarification

2

EXAMINATIONS 40-01

Refunds for Active Duty candidates

2

40-02

AICPA Elijah Watt Sells Award & Medal Winners

2

CONTINUING EDUCATION 50-01 Continuing Education Audit

2

50-02 Clarification of CPE Requirements

2

50-03

2

Colorado Rules and Regulations Courses (CR&R) – Treatment of Excess Hours

COMPLAINTS 60-01 Compliant Confidentiality

2

06-02 Procedures for Managing a Non-Response to Thirty (30) Day Letters

3

60-03 Cases Dismissed with Letters of Concern: Clarification of Basis for Dismissal, Reopening of Such Cases and Retention Period

3

60-04 Process for Handling Complaints Involving the Board of Accountancy

3

60-05 Anonymous Complaints

3

60-06 Delegated Authority to Board Staff to Initiate Complaint for Clear Violations of the Act

4

GROUNDS FOR DENIAL & SANCTIONS 70-01

Child Support Enforcement

4

70-02

Firm Reporting Requirements – Rule 12.3.A.7 - Change of Ownership

4

i Board of Accountancy Policies-Public Revised January 2016

GENERAL 80-01 Questions from the Press and Individuals – Non-Board Meetings

4

80-02 Delegation of Authority to Program Director

4

80-03 Delegation of Authority to Chair to Rule on Pre & Post-Hearing Motions

4

80-04 Peer Review Reports -- Confidential Documents

4

80-05 Testimony by Board Members in Any Case

4

80-06 Subpoena Enforcement

5

80-07 Delegated Authority to Division Staff Regarding Reinstatement Applications When Application Indicates Holding Out or Practicing on Expired Certificate or Registration

5

80-08 Approval of Retired Status Applications

6

80-09 Delegated Authority to Division Staff Regarding Failure to File Firm Amendment Applications

6

80-10 Delegated Authority to Division Staff Regarding Initial Applications for Individual Certificate or Firm Registration

7

80-11 Delegated Authority to Division Staff Regarding Lifting Suspensions on Cases Related to CPE Non-Compliance.

8

80-12 Delegated Authority to Division Staff Regarding Reinstatement Applications with Accrued CPE Requirements

8

80-13 Delegated Authority and guidelines to Division Staff for handling applications with misdemeanor or felony convictions

8-9

ii Board of Accountancy Policies-Public Revised January 2016

COLORADO BOARD OF ACCOUNTANCY POLICIES EFFECTIVE AS OF JANUARY 13, 2016

APPLICATION PROCESSING 10-01 Review of Denied Certificate/Registration Applications – Revised 1/16 The Board may grant one written request from an applicant to reconsider an application for a certificate or firm registration previously denied. A request for reconsideration must be received by the Board within sixty days (60) calendar days of the Board’s initial decision. Such requests must include a clear and thorough explanation of the grounds justifying reconsideration, including but not limited to, new and relevant facts that were not available to the Board at the time the Board made its initial decision. At the Board’s request, the applicant may appear before the Board for the sole purpose of answering questions from the Board. A reconsideration of an application is not a hearing; any applicant whose denial is reaffirmed will be notified of his right to request a hearing pursuant to the State Administrative Procedures Act. 10-02 Filing of Changes to a Firm Registration in Conjunction with Individuals – Revised 1/16 Individuals and firms must provide separate notices to the Board of changes as required under Rules of the Colorado State Board of Accountancy, (Effective July 1, 2013), Rules 6.2 and 12.3, respectively, which may require filing multiple notifications and/or applications. Information provided to the Board in a firm renewal or initial application and firm changes reported pursuant to Rule 12.3 do not fulfill the individual notice requirements under Rule 6.2. Likewise, information provided to the Board in an individual’s initial or renewal application for his certificate and changes reported under Rule 6.2 do not fulfill the firm notice requirements under Rule 12.3.

CERTIFICATES 20-01 Voluntary Surrender of Colorado CPA Certificate – Revised 1/16 The Board may accept the voluntary surrender of a CPA certificate if a certificate holder does not have a complaint pending. The Board will consider on a case-by-case basis whether to allow the voluntary surrender of a certificate when the certificate holder has a complaint pending. EDUCATION REQUIREMENTS 30-01 Rules 2.4 and 2.5 Clarification – Minimum Grade of "C" - Adopted 1/14, Revised 1/16 For purposes of Rules of the Colorado State Board of Accountancy, (Effective July 1, 2013), Rules 2.4 and 2.5, the phrase “course grades of C (or equivalent) or greater” means that a grade must be a minimum of a 2.0 on a 0.0 to 4.0 grading scale. With regard to “pass/fail” or letter based (“A” thru “F”) grading systems, the applicant must demonstrate to the satisfaction of the Colorado Board of Accountancy that a grade of “pass” or a letter grade is equivalent to a 2.0 or greater. 30-02 Rules 2.6 and 2.7 Clarification – “Specialized Accounting Courses”, Revised 1/16 For purposes of Rules of the Colorado State Board of Accountancy, (Effective July 1, 2013), Rules 2.6 and 2.7, the phrase “specialized accounting courses” means courses above introductory accounting courses. Introductory accounting courses means courses such as principles of accounting, accounting and tax software courses, payroll accounting, and other basic accounting courses as determined by the Board. 30-03 Accounting Ethics Course Clarification- Adopted 1/16 Rule 2.5.B.5 requires at least a 3 semester hour course concentrating on accounting ethics. The course content

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should include the following: the ethical responsibilities of accountants, both personal and professional; ethical dilemmas facing accountants; ethical theory; the various accounting codes of conduct and ethical guidance for accountants; and the application of ethical theory, codes of conduct, and professional standards. Courses focusing on general or business ethics will not be counted toward this requirement. 30-04 Business, Technical, or Accounting Communications Course Clarification – Adopted 1/16 Rule 2.5.C.1.a requires at least a 3 semester hour course in business, technical, or accounting communications. The course content should include professional communication with internal or external stakeholders of an organization. The course should address oral and written skills such as: presentations, effective listening, rhetoric, digital literacy, corporate and organizational communications, and global communications. Deliverables could include items such as: memorandums, presentations, proposals, reports, audit programs, engagement summaries, business or financial plans, or tax planning proposals. EXAMINATIONS 40-01 Refunds for Active Duty candidates – Revised 1/14 The Board authorizes its examination vendor to issue full refunds automatically to candidates who are called to active duty with the United States Armed Forces upon receipt of a copy of the official order, provided the dates of required service conflict with Uniform CPA Examination dates. 40-02 AICPA Elijah Watt Sells Award & Medal Winners Upon notification from the AICPA, the Board will inform the Colorado Society of CPA’s of the Colorado examination candidates who earned the highest scores on the Uniform CPA Examination. In addition, the Board will recognize the respective Colorado candidates by sending them a letter of congratulations.

CONTINUING EDUCATION 50-01 Continuing Education Audit – Revised 1/14 Division staff may monitor and audit continuing education credits reported by certificate holders who have undergone an audit of their continuing education for renewal, who have been approved for an extension, or been disciplined for failure to meet the continuing education requirements. The Board may conduct a continuing education audit on any licensee disciplined within the previous or current reporting period. The CPA Board members are audited after every renewal period. 50-02 Clarification of CPE Requirements – Revised 1/14 CPE in Behavioral Ethics or Regulatory Ethics, as described in the CPE Fields of Study, will satisfy the general Ethics requirements identified in the Rules but shall not satisfy any requirement that the licensee or applicant complete and pass the AICPA Ethics Course and Examination. 50-03 Colorado Rules and Regulations Courses (CR&R) – Treatment of Excess Hours – Adopted 1/14, Revised 1/16 The Rules of the Colorado State Board of Accountancy, (Effective July 1, 2013), allow or require licensees to complete 2 hours of Continuing Professional Education (CPE) in CR&R. Those 2 hours of CR&R count as Regulatory Ethics as defined in Rule 7.3 and the NASBA CPE Fields of Study. Satisfactory CR&R course presentations need not be limited to 2 hours, but may comprise and grant credit for as many hours as necessary to satisfy the requirements of Rule 7.8. However, CR&R course credit hours granted in excess of 2 hours will not be considered CR&R or Ethics CPE, but the excess hours will count as Specialized Knowledge and Applications as defined in Rule 7.3 and the NASBA CPE Fields of Study. COMPLAINTS 60-01 Complaint Confidentiality – Revised 1/16 1. The Board will, during the investigative process and until a complaint is settled by stipulated agreement or

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until charges are filed and served, deem such complaint of record and the results of the investigation, including the report of investigation, closed to inspection by the complainant, the respondent, and the public. 2. The Board will not disclose, discuss or comment with regard to whether complaints are pending during the investigative stage of a complaint. The Board will disclose such information when a complaint is settled by stipulated agreement or charges are filed and served. 3. Fully executed stipulations and consent agreements are permanent public records. 60-02 Procedures for Managing Non-Response to Thirty (30) Day Letters – Revised 1/16 1. When Division staff transmit a written notice to a licensee notifying him of any alleged violations of the Act or Rules (30 day letter), the initial 30 day letter will be transmitted to a Respondent via electronic mail (email). The email to the Respondent will contain a request for confirmation of receipt of such email from the Board. If no confirmation of receipt is received within 3 business days of sending the email, the 30-day letter will be sent via first class mail to the Respondent’s physical address of record. 2. If a Respondent does not have an email address of record with the Board, the 30 day letter will be mailed via first class mail to the Respondent’s physical address of record. 3. The Program Director may in their discretion either continue to seek a response to the 30 day letter or place the matter on the Board’s agenda for review and consideration for further action. 60-03 Cases Dismissed with Letters of Concern: Clarification of Basis for Dismissal, Reopening of Such Cases and Retention Period – Revised 1/16 After five years from the date the confidential letter of concern (LOC) is issued, the physical file will be disposed of in accordance with the Division of Professions and Occupations’ records management procedures. If the licensee has other active cases pending at the end of the five year retention period, the LOC may be kept for a longer period of time at the discretion of the Division staff. A complaint dismissed with a LOC may be re-opened at the discretion of the Board within five years of the date of the LOC in the event of a change in circumstances, including but not limited to, discovery of new evidence supporting the charges underlying the LOC or evidence that the licensee has engaged in new conduct similar to the conduct that was the basis of the LOC. 60-04 Process for Handling Complaints Involving the Board of Accountancy –Adopted 7/09, Revised 1/16 Any signed complaint received by the Board against a current licensee who is a member of the Board or one who has served on the Board within the past five years, or a licensee who has an ongoing formal relationship with the Board will be handled as follows: •

If the complaint alleges a violation of the Accountancy Practice Act or the Board Rules of Professional Conduct, the complaint will be sent to the Office of Investigations within the Division of Professions and Occupations for a formal investigation.

•

If the complaint alleges substandard practice, the Office of Investigations will also have the case reviewed by an independent consultant selected by the Office of Investigations.

Upon completion of the investigation, the report will be referred to the Board for appropriate action. If the complaint is against a current board member, he or she shall recuse from all discussions regarding the complaint and physically leave the meeting room during these discussions. All other customary procedures for the handling of a complaint by the Board will apply. These include but are not limited to issuance of a 30-day letter, notification to the licensee and complainant of Board decisions, and the confidentiality of the complaint and investigation as provided by the Accountancy Practice Act. Anonymous complaints filed against a current licensee who is a member of the Board or one who has served on the Board within the past five years, or a licensee who has an ongoing formal relationship (e.g. expert consultants) with the Board will be evaluated by the Board on a case-by-case basis. 60-05 Anonymous Complaints – Adopted 3/10, Revised 1/16 The Board discourages anonymous complaints and does not automatically investigate such complaints. The Board will review complaints on a case-by-case basis in accordance with § 12-2-126, C.R.S.

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60-06 Delegated Authority to Division Staff to Initiate Complaint for Clear Violations of the Act, Revised 1/16 When a clear violation of the Accountancy Practice Act, §120-2-101 et seq, is identified, such as stipulation violations, failure to respond to Board ordered correspondence, or Continuing Education Deficiencies, the Board authorizes Division Staff to initiate a complaint on its behalf against the individual CPA or CPA firm. GROUNDS FOR DENIAL & SANCTIONS 70-01 Delegated Authority - Child Support Enforcement – Revised 1/16 Authority has been delegated to the Program Director to execute a "Memorandum of Understanding" with the Colorado Department of Human Services for the purpose of enforcing § 26-13-126, C.R.S. relevant to the suspension and reinstatement of a license to practice a profession. When the suspension and reinstatement is based on child support compliance, the Program Director is authorized to execute both "Orders of Suspension" and "Orders of Reinstatement" of a professional license, correspondence from the Board notifying respondents of license suspensions, as well as denials and any and all documentation necessary to enforce compliance with §§ 2434-107 and 26-13-126, C.R.S. An "Order of Suspension" based on child support compliance will be effective 20 days after its signing. 70-02 Firm Reporting Requirements –Rule 12.3.A.7 - Change of Ownership – Adopted 1/14, Revised 1/16 For purposes of Rules of the Colorado State Board of Accountancy, (Effective July 1, 2013), Rule12.3.A.7, the requirement that a Firm must notify the Board of a “change in ownership” means that a Firm must notify the Board of a change in ownership, including the addition or withdrawal of a partner, principal, shareholder, member, or equivalent, only if the identity of the majority owner is changed, or if the change causes the Firm to be noncompliant with § 12-2-117, C.R.S.

GENERAL 80-01 Questions from the Press and Individuals Outside of Board Meetings – Revised 1/14 In order to preserve and protect the Board process and recognize the rights and obligations of Board members, Board members shall not respond to questions from the press regarding Board matters and will instead refer the inquirer to the Program Director. In order to preserve and protect the Board process and recognize the rights and obligations of Board members, Board members shall not respond to questions from individuals regarding substantive Board matters. 80-02 Delegation of Authority to Program Director – Revised 1/16 The Board grants the Program Director or the Program Director’s designee, the authority to sign routine subpoenas on behalf of the Board when necessary in the course of investigations or hearings. The Board delegates to the Program Director or the Program Director’s designee, the authority to execute stipulations, the terms of which were previously approved by the Board. 80-03 Delegation of Authority for the Chair to Rule on Pre & Post-Hearing Motions – Adopted 7/10, Revised 1/16 The Board grants its Chair the authority to rule on all pre- and post-hearing motions pursuant to §24-4-105 of the State Administrative Procedure Act. 80-04 Peer Review Reports - Confidential Documents Peer review reports which contain confidential, commercial, financial information are closed to public inspection and will be reviewed by the Board in Executive Session. 80-05 Testimony by Board Members in Any Case-– Revised 1/16 If a Board Member testifies as an accounting expert in any matter, the Board Member shall notify the court and the opposing party in writing or testimony that the opinions that he or she expresses are their own and not those of the

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State Board of Accountancy. If the matter comes before the Board as a possible disciplinary action, the Board Member is expected to recuse from discussions and decisions on the matter. A Board member should not speak on behalf of the Board unless the Board gives specific authority to the Board member. 80-06 Subpoena Enforcement – Adopted 9/09 It is the policy of the Board that when, in the course of an investigation of a complaint, a subpoena needs to be enforced pursuant to the Accountancy Act and the State Administrative Procedure Act, the Accountancy Board specifically authorizes the Program Director, or designee, to refer such matter directly to the Office of the Attorney General for enforcement. 80-07 Delegated Authority to Division Staff Regarding Reinstatement Applications When Application Indicates Holding Out or Practicing on Expired Certificate or Registration – (Reference: Section 24-34-102, C.R.S.) Revised 1/16 From the date of expiration, a certificate holder or a registrant has a grace period of 60 days within which to renew a certificate or registration without the imposition of discipline for using the CPA designation or practicing on an expired certificate or registration. A delinquency fee will be due upon renewal of the certificate or registration during the 60-day grace period. After the 60-day grace period, the certificate or registration will be deemed to have expired as of the original expiration date (2 years for CPAs and 3 years for CPA firms). A certificate holder or firm registrant who fails to renew within the 60-day grace period must file a reinstatement application. The Division staff may reinstate a certificate or registration subject to conditions established by the Board if: 1.

The reinstatement application indicates that the certificate or registration has been expired for two years or less;

2.

The reinstatement application indicates that the certificate holder or registrant provided public accounting services to the public for a fee or held out as a CPA or a CPA firm without an active certificate or registration; and

3.

The certificate holder or registrant has not been previously disciplined or received a letter of concern for this conduct.

The disciplinary actions imposed against the CPA or CPA firm are set by the Board for Division staff as a guideline listed below: Individual Reinstatement Violation of §§12-2-115(3)(a) and/or 12-2-123(1)(j)

1 thru 180 days

181 days - 365 days >1 year and < 2 years

Approve and send Confidential Letter of Concern(CLOC) Approve and send Letter of Admonition (LOA) Approve and impose discipline: ▪ LOA ▪ $250 fine per violation/per year

Firm Reinstatement Cases against both Firm and the Responsible Party (RP) Violation of §§12-2-115(3)(c) and/or 122-123(1)(j) also include 12-2-123(1)(r) and 12-2-117(1) or (2.2) Approve and send CLOC against firm and RP

Approve and send LOA for both firm and RP Approve and impose discipline: ▪ LOA for both firm and RP ▪ $500 fine for firm per year ▪ $250 fine for RP ▪ CR&R for RP within 90 days

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> 2 years

Don't approve, initiate case and present to Board in Executive Session

Don't approve, initiate cases against firm and RP and present to Board in Executive Session

The Board guidelines are subject to change without notice. 80-08 Approval of Retired Status Applications – Revised 1/14 The Board hereby delegates authority to Division staff to approve retired status applications that meet the requirements. If the applicant does not meet the requirements, the Board delegates authority to Division staff to notify the applicant of the deficiencies and/or request additional information.

80-09

Delegated Authority to Division Staff Regarding Failure to File Firm Amendment Applications. – Revised 1/16 Pursuant to § 12-2-117(2)(a)(III), C.R.S. and Rules of the Colorado State Board of Accountancy, 3 C.C.R. 705-1 (Effective July 1, 2013), Rule 12.3, a registered firm shall notify the Board of certain changes by submitting a firm amendment application within 30-days of the effective date of the change. Division staff may update a firm’s records based upon the changes identified in the application and may enforce sanctions against that firm pursuant to specific internal guidelines established by the Board if: 1) the firm amendment application indicates that the effective date of the change to the firm, or the effective date of the oldest change if the application identifies multiple changes to the firm, was less than five years prior to the firm amendment application receipt date; 2) the firm amendment application indicates that the firm failed to file an amendment application within 30 days of the effective date of the change; and 3) the firm has not been previously disciplined or received a letter of concern for the same conduct. The Board set the following guidelines: Firm Amendment Case against Firm only Violation of §12-2-117(2)(a)(III) and/or Board Rule 1.5 Violations: (1) entity name change; (2) entity structure change; (3) entity composition change – adding or withdrawing ownership of CPAs; (4) change in responsible party; (5) address change; (6) addition or deletion of locations 1 thru 365 days

Approve changes and send Confidential Letter of Concern(CLOC)

>1 year up to 5 years

Approve changes and impose discipline: ▪ Letter of Admonition ▪ $250 fine ▪ CR&R for RP within 90 days

>5 years or previous CLOC or discipline for similar violation

Approve changes, initiate case and present to Board in Executive Session

A firm amendment application filed in violation of the Act that does not satisfy the conditions above shall be presented to the Board as an individual agenda item.

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The Board guidelines are subject to change without notice. 80-10 1)

Delegated Authority to Division Staff Regarding Initial Applications for Individual Certificate or Firm Registration – (Reference: §§ 12-2-115, 117, 12-2-120, and 12-2-123, C.R.S.) Revised 1/16 Division staff may approve applications for an individual certificate or firm registration when the following has occurred for 60 days or less: a. the application indicates the individual applicant has held out as a CPA or performed services described in §12-2-120(6)(a), C.R.S.; or b. the application indicates that the firm has held out as a firm composed of CPAs or has performed services described in §12-2-120(6)(a), C.R.S. 2) Division staff may approve applications for an individual certificate or firm registration when the following has occurred for more than 60 days and up to and including six months: a. the application indicates the individual applicant has held out as a CPA or performed services described in §12-2-120(6)(a), C.R.S.; or b. the application indicates that the firm has held out as a firm composed of CPAs or has performed services described in §12-2-120(6)(a), C.R.S. Along with such approval, Division staff shall issue a Confidential Letter of Concern to the individual or firm and Responsible Party for the firm.

3)

Unless otherwise determined upon Board review, the Board denies any application for an individual certificate if the application indicates that the individual has held out as a CPA or has performed services described in § 12-2-120(6)(a), C.R.S. for more than six months and up to and including two years. Division staff shall issue such denial, PROVIDED THAT: a. In lieu of denial, Division staff may approve the application upon the applicant’s acceptance and satisfaction of conditions set pursuant to internal guidelines established by the Board, or b.

4)

If other circumstances exist, Division staff will present the matter as an individual agenda item.

Unless otherwise determined upon Board review, the Board denies any application for firm registration if the application indicates that the firm has held out as a firm composed of CPAs or has performed those services described in § 12-2-120(6)(a), C.R.S. for more than six months and up to six years. Division staff shall issue such denial, PROVIDED THAT: a. In lieu of denial, Division staff may approve the application upon the applicant’s acceptance and satisfaction of conditions set pursuant to internal guidelines established by the Board; or b.

If other circumstances exist, Division staff will present the matter as an individual agenda item. Individual Initial Application Violation of §§12-2-115(3)(a) and/or 12-2-120(6)(a)

Firm Initial Application Violation of §§12-2-115(3)(c) and/or 12-2-120(6)(a) also include 12-2-123(1)(r) and 12-2117(1) or (2)

<60 days

Approve with Letter of Information (LOI)

Approve with LOI

>60 days - 180 days

Approve with Confidential Letter of Concern (CLOC)

Approve with CLOC against firm and RP

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181 days - 365 days

Conditional Denial ▪ LOA ▪ $250 fine

Conditional Denial ▪ LOA for both firm and RP ▪ $250 fine for RP (no fine for single member LLC/PC) ▪ CR&R for RP within 90 days

>1 year and < 2 years Conditional Denial ▪ LOA ▪ $500 fine ▪ AICPA Real World Ethics within 90 days >1 year and <6 year

>2 years

Conditional Denial ▪ LOA for both firm and RP ▪ $250 fine for RP (no fine for single member LLC/PC) ▪ $500 per year fine for firm ▪ CR&R for RP within 90 days Presented to Board in Open Session

>6 years or the RP has previous

Presented to Board in Open Session

The Board guidelines are subject to change without notice. 80-11 Delegated Authority to Division Staff Regarding Terminating Suspensions on Cases Related to CPE Non-Compliance – Revised 1/16 Division staff may terminate a suspension on cases related to CPE audit non-compliance if the respondents have fully complied with the terms of the stipulation. These matters may be presented to the Board for ratification in a consent agenda. 80-12 Delegated Authority to Division Staff Regarding Reinstatement Applications with Accrued CPE Requirements, Adopted 1/16 Division staff may approve reinstatement applications that require completion of CPE accrued when the licensee was last active if the applicant submits 150 or more CPE hours. 80-13 Delegated Authority and guidelines to Division Staff for handling applications with misdemeanor or felony convictions, Adopted 6/10 The following guidelines are for use by Division staff to determine how to handle applications where a misdemeanor or a felony is disclosed: I: The following examples must be referred to the Board for review: 1.

All felony convictions and felony deferred judgments within the last 10 years.

2.

Any sex offense convictions including child sexual assault.

3.

Any misdemeanor convictions for crimes involving DUI, DWAI, illegal drugs or controlled substances that occurred within the last 3 years or multiple convictions for the same crime.

4.

Any time a pattern of escalating offenses is noted, [i.e., multiple convictions in which the seriousness and nature of the crimes committed grow more serious; if in doubt, send to the Board].

5.

Any convictions involving: kidnapping, bribery, extortion, or fraud, embezzlement, theft, shoplifting, physical harm to others, or violent in nature [i.e. domestic violence, felony menacing; assault with a deadly weapon, homicide, manslaughter].

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6.

Any person who is currently on parole or probation for any criminal conviction.

7.

Any person who completed probation within the last 5 years.

8.

Any application in which there is evidence or reasonable concern that the applicant lied or presented false or forged documents in support of the application.

9.

2 or more convictions for disturbing the peace.

10.

Up to 3 misdemeanor convictions or petty offense convictions that occurred more than 5 years ago, all terms of probation are completed and none of the convictions involved bodily harm and some sign of rehabilitation.

II: The following examples can be administratively approved for examination/licensure candidates/applicants. 1.

A single conviction for DUI or DWAI that occurred more than 3 years ago, and absent any other information in the application that would indicate a history of alcohol or drug impairment.

2.

A single harassment or misdemeanor assault conviction occurring more than 1 year ago which did not involve a client, the workplace, or sexual misconduct.       

A single petty offense or misdemeanor conviction occurring more than 1 year ago for: Possession of marijuana or possession of drug paraphernalia Criminal mischief Underage possession/drinking Hunting and fishing violations Trespassing if not connected with any other crime Disturbing the peace

3.

Traffic offenses that do not involve DUIs/DWAIs misdemeanors or felonies.

4.

Municipal citations involving barking dogs, leash law violations or dogs at large.

5.

Any misdemeanor and/or felony convictions that have been expunged or the records sealed by the court.

If Division staff is unclear, the application will be presented to the Board for review. The applicant must complete and satisfy all other licensing requirements prior to approval.

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